Public Disclosure Authorized Public Disclosure Authorized GOOD PRACTICE HANDBOOK Public Disclosure Authorized Use of Security Forces: Assessing and Managing Risks and Impacts Guidance for the Private Sector in Emerging Markets Public Disclosure Authorized COPYRIGHT The material in this publication is copyrighted. IFC encourages the dissemination of the content for educational purposes. Content from this publication may be used freely without prior permission, provided that clear attribution is given to IFC and that content is not used for commercial purposes. DISCLAIMER The findings, interpretations, views, and conclusions expressed herein are those of the authors and do not necessarily reflect the views of the Executive Directors of the International Finance Corporation (IFC) or of the World Bank or the governments they represent. The purpose of the Good Practice Series is to share information about private sector approaches for addressing a range of environmental and social issues that IFC believes demonstrate one or more elements of good practice in these areas. Information about these approaches may be taken from publicly available or other third party sources. IFC and/or its affiliates may have financial interests in or other commercial relationships with certain of the companies. While IFC believes that the information provided is accurate, the information is provided on a strictly “as-is” basis, without assurance or representation of any kind. IFC may not require all or any of the described practices in its own investments, and in its sole discretion may not agree to finance or assist companies or projects that adhere to those practices. Any such practices or proposed practices would be evaluated by IFC on a case-by-case basis with due regard for the particular circumstances of the project. For more information on IFC’s commitment to sustainability, including links to the Sustainability Framework, visit www.ifc.org/sustainabilityframework. Date published: February 2017. Photo Credits: Felicity Kolp; Ben Li; J.J. Messner; Jason Paiement; Gaye Thompson; Shaza Zeinelabdin; Control Risk East Africa Limited; and World Bank Group Photo Collections. GOOD PRACTICE HANDBOOK Use of Security Forces: Assessing and Managing Risks and Impacts Guidance for the Private Sector in Emerging Markets Table of Contents Acronyms List vii Acknowledgments ix Executive Summary xi I. Introduction: Security Issues in the Context of the Performance Standards 1 IFC’s Sustainability Framework and Security Issues 3 Key Principles 8 Interconnectedness between Security (PS 4) and Other Performance Standards 9 Community Engagement and Grievance Mechanism for Security-Related Issues 9 Gender Considerations 10 The Principle of Proportionality in Security Responses 11 Security and Human Rights 11 Implementing Performance Standard 4 14 Other International Standards on Security 14 Table of Contents | v II. Assessing Security Risks 17 Security Risk Screening: 10 Questions All Companies Should Answer 21 Preparing a Security Risk Assessment: For Companies Operating in High-Risk Contexts 33 Distinct Security Considerations in Different Phases of a Project 37 III. Managing Private Security 41 10 Key Considerations When Hiring Private Security 44 Community Engagement and Grievance Mechanism for Security-Related Issues 53 IV. Managing the Relationship with Public Security 57 Assessing Public Security Risks: 5 Key Questions for Companies 62 Communication and Engagement with Public Security 65 Who should engage? 66 When to engage? 66 How to engage? 66 What to discuss? 68 Document Engagement Efforts 75 Consider a Memorandum of Understanding 75 V. Preparing a Security Management Plan 77 Key Components of Security Management Plan 81 VI. Assessing Allegations or Incidents Related to Security Personnel 89 Policies and Procedures 92 Key Steps in the Process 93 Annexes: Tools and Templates Annex A: Template Invitation to Bid and Request for Proposals for Security Risk Assessment and Security Management Plan 101 Annex B: Guidance for Drafting a Security Management Plan 105 Annex C: Template Contract with a Private Security Provider 115 Annex D: Sample Incident Report Summary Template 119 Annex E: Template Memorandum of Understanding 121 Annex F: Resources for Further Guidance on Use of Security Forces 125 vi | Use of Security Forces: Assessing and Managing Risks and Impacts Acronyms List CCTV Closed-Circuit Television (video surveillance) CDC Group U.K.’s Development Finance Institution CES IFC’s Environment, Social and Governance Department DCAF Geneva Centre for the Democratic Control of Armed Forces DEG Investment German Investment and Development Corporation DFID U.K.’s Department for International Development EBRD European Bank for Reconstruction and Development EDC Export Development Canada EPC Engineering, Procurement, and Construction ESIA Environment and Social Impact Assessment ESMS Environment and Social Management System HSE Health, Safety, and Environment ICMM International Council on Mining and Metals ICRC International Committee of the Red Cross IFC International Finance Corporation MIGA Multilateral Investment Guarantee Agency MOU Memorandum of Understanding NGO Nongovernmental Organization PSs IFC’s Performance Standards SMP Security Management Plan SRA Security Risk Assessment UN United Nations UNICEF United Nations International Children’s Emergency Fund VPs Voluntary Principles | vii Acknowledgments This Good Practice Handbook on the Use of Security Forces: Assessing and Managing Risks and Impacts is part of a series of good practice guidance from the Environment, Social and Governance Department (CES) of the International Finance Corporation (IFC). The Handbook was prepared by a core team comprised of Felicity Kolp and Debra Sequeira (IFC), Krista Hendry (Monkey Forest Consulting), and J.J. Messner and Hannah Blyth (The Fund for Peace), with contributions by Don McFetridge and Tom Green (Monkey Forest Consulting). The document also significantly benefited from extensive comments provided through an internal and external peer review process. The authors wish to thank IFC colleagues Felipe Albertani, Diana Baird, Lalit Bhandari, Emmanuel Brace, Richard Caines, Pablo Cardinale, Lori Conzo, Leyla Day, John Graham, Rob Horner, Konrad Huber, Alex Indorf, Sofie Fleischer Michaelsen, Louis Philippe Mousseau, Rosa Orellana, Justin Pooley, and Shaza Zeinelabdin for their contributions. Thanks are also due to external reviewers, including: Brian Gonsalves (AngloGold Ashanti); Jonathan Drimmer (Barrick Gold); Helen Simpson (British Petroleum); Mark Eckstein, Nomsa Fulbrook-Kagwe, Ritu Kumar, Nikolas Stone (CDC Group); Sebastian Spitzer (DEG Invest); Diana Klein (DFID UK); Giorgia Depaoli, Evelin Lehis, Rachelle Marburg, Sukran Caglayan Mumcu, Elizabeth Smith (EBRD); Robert Cameron (EDC); Amy Lehr (Foley Hoag); Margaret Wachenfeld (Institute for Human Rights and Business); Roper Cleland, Yadaira Orsini (International Alert); Hannah Clayton (ICMM); Claude Voillat (ICRC); Reg Manhas (Kosmos Energy); Kate Wallace, Debra Zanewich (MIGA); Nick Cotts, Otto Sloan (Newmont Mining); Uwe Fitschen, Johanna Imiela, Pablo von Waldenfels (Euler Hermes); Glenn Bestall (Seven Energy); Ida Hyllested (UNICEF); and Jorge Villegas (World Bank). The drafting team is very appreciative of the many valuable and insightful comments and hopes the reviewers find their input reflected in this final version. Finally, the team would like to thank CES’ Knowledge Management team, including Fiorella Facello, Susan Holleran, and Dickson Tang, who supported the publication of this Good Practice Handbook. Acknowledgments | ix Executive Summary Companies around the world commonly hire or contract security personnel to protect their employees, facilities, assets, and operations, ranging from a single night watchman to a large contingent of private security guards, or even deployment of public security forces. While many companies already assess the types and likelihood of security threats posed by their operating environment, they are increasingly being called upon to consider the impacts their security arrangements might have on local communities. Good practice regarding the use of security forces is based on the concept that providing security and respecting human rights can and should be consistent. This translates into implementation of policies and practices that ensure security provision is carried out responsibly, with any response being proportional to the threat. Proactive communication, community engagement, and grievance redress are central to this approach, often through collaboration between security and community relations departments. Gender considerations are also important, as women often have different experiences and interactions with security personnel. Companies have a responsibility to ensure proper hiring, training, rules of conduct, and supervision of private security personnel. They should also encourage public security personnel to use proper restraint when responding to situations related to the project. These expectations are reflected in IFC’s Performance Standard 4: Community Health, Safety, and Security, which requires companies to 1) assess the security risk their operations may have or could create for communities; 2) develop ways to manage and mitigate these risks; 3) manage private security responsibly; 4) engage with public security; and 5) consider and investigate allegations of unlawful acts by security personnel. Performance Standard 4 applies to companies of